EFTA01422281.pdf

Subject: RE: SOF IV names [C] [I] From: Nathaniel Morgan Date: Wed, 02 May 2018 13:09:23 -0400 To: Stewart Oldfield Cc: Andrew King William-M Finn Classification: For internal use only Hey Stew, For Willett — you aren't a part of the team in DbForce (Jim Donofrio and KCP East are) so I can't submit an AIS request. Any guidance would be helpful. Gracias, Nate From: Stewart Oldfield Sent: Tuesday, May 01, 2018 6:11 PM To: Nathaniel Mor an Cc: Andrew King ; William-M Finn a Subject: RE: SOF IV names [I] [C] Always happy to help you help me From: Nathaniel Morgan Sent: Tuesday, May 01, 2018 6:10 PM To: Stewart Oldfield Cc: Andrew King < ; William -M Finn a> Subject: RE: SOF IV names [I] [C] Classification: Confidential EFTA01422281 Thanks for the time on the phone Stew. We've got all that we need and will get rolling on the AIS requests. From: Nathaniel Morgan Sent: Tuesday, May 01, 2018 5:52 PM To: Stewart Oldfield Cc: Andrew King William-M Finn ‹ > Subject: RE: SOF IV names [I] [C] Classification: Confidential Hi Stew, I've attached the form for the clients in red. Since everyone appears to be in DB force, we don't need the addresses and all that jazz. Just need the standard Suitability/Asset Allocation info, as well as phone #'s and emails if you have them. Thanks, Nate Name AIS Info on File Aspen Grove Yes Bright Yes Dimensional EFTA01422282  Yes Dorrance Yes Epstein/Southern Financial Yes Everwatch Yes Forrestal Yes Georgetown Yes Gerschel Yes Highlander Yes Yes Ironsides Yes Nicholas EFTA01422283  Yes Shamrock Yes Slome Yes Third Lake Yes Tisch Yes Warren Yes BBR No Ford No Pacific Life No Willett No Annandale No EFTA01422284 EFTA01422285